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Assistant Vice President - Compliance Controller, Asia Pacific

  • Full Time, onsite
  • Natixis Corporate & Investment Banking
  • Singapore, Singapore
Salary undisclosed

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Natixis Corporate & Investment Banking is a leading global financial institution that provides advisory, investment banking, financing, corporate banking and capital markets services to corporations, financial institutions, financial sponsors and sovereign and supranational organizations worldwide. Our teams of experts in over 30 countries advise clients on their strategic development, helping them to grow and transform their businesses, and maximize their positive impact.

Natixis CIB Asia Pacific provides regional corporate and financial institution clients with tailor-made financing and capital markets solutions as well as access to global financial markets, while supporting the development of Natixis CIB's European and international clients in Asia Pacific.

Main Description:

  • Contribute to the annual Risk Control Self-Assessment based on the second level control results
  • Execute local and regional second line controls as determined in the annual Compliance Risk Assessment
  • Scope second level assessment reviews and define the testing plan
  • Analyze the process and the overall control framework in place to mitigate the compliance risk and identify any control weaknesses
  • Assess the design and execution of existing controls in accordance with Bank standards and methodology to identify any weaknesses
  • Track and verify the completion of corrective action plans agreed with stakeholders
  • Provide regular updates of Control assessments to key stakeholders in APAC or in other relevant regions as required.
  • Ensure harmonisation of the identification of risks, control checklists and performance of controls where possible whilst ensuring minimum standards are maintained throughout the region.
  • Collaborate with the Head Office Controls Team, Head Office and regional first level controls team and other regional Compliance Control functions
  • Provide KPI, KRI and key results/key information for management reporting
  • Maintain updated knowledge of the business line organization as well as its strategic developments and key projects
  • Contribute to the review and update of the Control Checklist list methodology documents
  • Identify possible use of data analytics and artificial intelligence in executing level 2 control missions
  • Identify processes that can be offshored/streamlined under the guidelines given by the Head of Compliance Control Monitoring
  • Maintain a detailed and updated working knowledge of key regulators within APAC
  • Maintain a detailed and updated working knowledge on the existing Compliance policies framework, Compliance incidents and any key regulatory development at group and regional level.
  • Support Head of Compliance Controls on internal and regulatory projects, and assist to review and implement policies and procedures

Required Skills

Technical Knowledge

  • At least 7-10 years of relevant experience (eg. Internal Audit, Monitoring and surveillance or other related areas)
  • Strong knowledge of regulations (SFC, HKMA, MAS rules and EU directives, etc)
  • Strong knowledge of Capital Markets & Investment Banking Operations/environment and associated products.
  • Data analytical skills with advanced tools (i.e, Excel / Power BI/ Alteryx, etc)

General Competencies

  • Analytical and problem solving
  • Ability to work independently
  • Ability to constructively challenge
  • Strong written and verbal communication skills
  • Ability to manage multiple deliverables at the same time
  • A strong team player